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Corrective Action Plans

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Finding 382479 (2023-002)
Material Weakness 2023
Nevadaworks
NV
Reporting Internal Control / Segregation of Duties
Nevadaworks is in the process of updating the Federal reporting website to comply with the Federal Funding Accountability and Transparency Act (FFATA) for sub-award reporting. Nevadaworks will report any new contract by the end of the month following the month in which the prime recipient awards any...
Nevadaworks is in the process of updating the Federal reporting website to comply with the Federal Funding Accountability and Transparency Act (FFATA) for sub-award reporting. Nevadaworks will report any new contract by the end of the month following the month in which the prime recipient awards any sub-grant greater than or equal to $30,000.
View Audit 296137
State of Nebraska
NE
Subrecipient Monitoring Reporting Internal Control / Segregation of Duties
Program: AL 21.027 – COVID-19 – Coronavirus State and Local Fiscal Recovery Funds – Reporting Corrective Action Plan: DAS will continue to request accurate numbers from each agency for quarterly input. DAS is working with the agencies noted to ensure they have and maintain proper documentation re...
Program: AL 21.027 – COVID-19 – Coronavirus State and Local Fiscal Recovery Funds – Reporting Corrective Action Plan: DAS will continue to request accurate numbers from each agency for quarterly input. DAS is working with the agencies noted to ensure they have and maintain proper documentation regarding capital expenditure justification. DHHS has written justification for the $3,967,469 (Improve Infrastructure) of capital expenditures. The Local Health Departments provided budgets which included planned activities/budgeting for capital expenditures. This justification was provided prior to the beginning of the project and was approved by DHHS staff. DHHS will continue to gather documentation from Local Health Departments related to capital expenditures. Contact: Philip Olsen, CPA, State Accounting Administrator; Ryan Daly, DHHS Deputy Director of Finance, Public Health Anticipated Completion Date: January 2024 & June 2025
View Audit 296116
State of Nebraska
NE
Subrecipient Monitoring Procurement, Suspension & Debarment Reporting § 200.1 § 200.331 § 200.511
Program: AL 21.026 – COVID-19 Homeowner Assistance Fund – Subrecipient Monitoring Corrective Action Plan: The Military Department will continue to modify the Memorandum of Understanding between the parties to identify NIFA as a subrecipient and advise of them of any additional requirements. Cont...
Program: AL 21.026 – COVID-19 Homeowner Assistance Fund – Subrecipient Monitoring Corrective Action Plan: The Military Department will continue to modify the Memorandum of Understanding between the parties to identify NIFA as a subrecipient and advise of them of any additional requirements. Contact: Erv Portis Anticipated Completion Date: ongoing
View Audit 296116
Finding 382457 (2023-056)
Material Weakness 2023
State of Nebraska
NE
Questioned Costs Eligibility Reporting § 200.1
Program: AL 17.225 – Unemployment Insurance – State – Allowability & Eligibility Corrective Action Plan: The Department has worked with its vendor to implement changes to the wage crossmatch process. The Department has increased the size of its Benefit Integrity Unit and implemented further fraud...
Program: AL 17.225 – Unemployment Insurance – State – Allowability & Eligibility Corrective Action Plan: The Department has worked with its vendor to implement changes to the wage crossmatch process. The Department has increased the size of its Benefit Integrity Unit and implemented further fraud prevention tools. The Department is working with the unit and individuals to properly prioritize workloads. The Department continues to work extensively with their vendor to address and resolve the issues related to separation information requests. The Department has also revised its adjudication process to manually address issues related to separation information requests pending the vendor completion of the needed corrections. The Department been working to improve its quality and has coached the adjudication team on ETA requirements for follow-up with employers. The Department also implemented a new work model in consultation with a vendor. Since implementing the new process, the Department has met first payment timeliness and nonmonetary determination timeliness for October, November, and December 2023 and January 2024. Separation issues as a cause of improper payment decreased from 6.245% in FFY 2022 to 3.173% in FFY 2023, and overall improper payment rate for FFY is down from 16.014% to 14.862%. Contact: Andi Bridgmon, UI Director Anticipated Completion Date: Ongoing – overall adjudication quality is an ongoing focus of the Department and will be continuously reviewed for continued improvement.
View Audit 296116 Questioned Costs: $1
State of Nebraska
NE
Subrecipient Monitoring Reporting Matching / Level of Effort / Earmarking
Program: AL 14.228 – Community Development Block Grants – Reporting Corrective Action Plan: DED has changed its FFATA reporting procedure to ensure that the FFATA information is reported in FSRS within the required timeframe. The FFATA reporting process was previously a special condition to the r...
Program: AL 14.228 – Community Development Block Grants – Reporting Corrective Action Plan: DED has changed its FFATA reporting procedure to ensure that the FFATA information is reported in FSRS within the required timeframe. The FFATA reporting process was previously a special condition to the release of funds. The timeframe for completing special conditions often takes months, which is beyond the deadline for reporting FFATA information to FSRS. DED has changed its procedure to require that the awardee submit the FFATA information to DED at the time the awardee executes the subaward. Nothing can proceed and move forward in the award workflow until DED receives the FFATA information. DED program staff is notified of completion of the FFATA information by the awardee. The FFATA information is now given to the Finance Team when the subaward is executed which gives the Finance Team adequate time to submit the information to FSRS. All DED’s departments, programs, and awards that manage federal grants now use this FFATA procedure. Contact: Audrey Sautter, DED Compliance Team Manager Anticipated Completion Date: DED has already implemented this new FFATA procedure.
View Audit 296116
Finding 382440 (2023-049)
Material Weakness 2023
State of Nebraska
NE
Questioned Costs Reporting Matching / Level of Effort / Earmarking
Program: AL 93.659 – Adoption Assistance – Reporting Corrective Action Plan: DHHS has implemented procedures to ensure reports are accurate and reconcile to the accounting system. The procedures have been updated to include reconciling the FFR to the accounting system on a quarterly basis. Conta...
Program: AL 93.659 – Adoption Assistance – Reporting Corrective Action Plan: DHHS has implemented procedures to ensure reports are accurate and reconcile to the accounting system. The procedures have been updated to include reconciling the FFR to the accounting system on a quarterly basis. Contact: Ann Murphy Anticipated Completion Date: 6/30/2024
View Audit 296116 Questioned Costs: $1
Finding 382436 (2023-047)
Significant Deficiency 2023
State of Nebraska
NE
Questioned Costs Reporting Matching / Level of Effort / Earmarking
Program: AL 93.658 – Foster Care Title IV-E – Reporting Corrective Action Plan: DHHS has implemented procedures to ensure reports are accurate and reconcile to the accounting system. The procedures have been updated to include reconciling the FFR to the accounting system on a quarterly basis. Co...
Program: AL 93.658 – Foster Care Title IV-E – Reporting Corrective Action Plan: DHHS has implemented procedures to ensure reports are accurate and reconcile to the accounting system. The procedures have been updated to include reconciling the FFR to the accounting system on a quarterly basis. Contact: Ann Murphy Anticipated Completion Date: 6/30/2024
View Audit 296116 Questioned Costs: $1
State of Nebraska
NE
Subrecipient Monitoring Reporting
Program: AL 93.568 – Low-Income Home Energy Assistance (LIHEAP) - Reporting Corrective Action Plan: The issue regarding the household income levels from the prior year was discussed with the Federal funding agency/Federal funding agency’s data contractor prior to the submission of the Federal Fis...
Program: AL 93.568 – Low-Income Home Energy Assistance (LIHEAP) - Reporting Corrective Action Plan: The issue regarding the household income levels from the prior year was discussed with the Federal funding agency/Federal funding agency’s data contractor prior to the submission of the Federal Fiscal Year (FFY) 2022 Household Report. The Department of Health and Human Services (DHHS) was advised to submit the report with the data that was available and to identify the issue in the comments. DHHS identified the issue in the comments of the Household Report that was submitted to the Federal funding agency, and it was accepted. DHHS will work with technical staff to revise the report to ensure data is accurately reported. As of FFY 2024, the Federal funding agency revised the Household Report to no longer require applicant data. Thus, no further action is necessary regarding the applicant information. Contact: Matt Thomsen Anticipated Completion Date: 12/31/2024
View Audit 296116
State of Nebraska
NE
Reporting Internal Control / Segregation of Duties
Program: AL 93.558 – Temporary Assistance for Needy Families (TANF) – Reporting Corrective Action Plan: The Agency is working to make corrections to the ACF-199 -209 reports to ensure accurate information is reported to the Administration for Children and Families. Contact: Will Varicak Antic...
Program: AL 93.558 – Temporary Assistance for Needy Families (TANF) – Reporting Corrective Action Plan: The Agency is working to make corrections to the ACF-199 -209 reports to ensure accurate information is reported to the Administration for Children and Families. Contact: Will Varicak Anticipated Completion Date: 8/1/2024
View Audit 296116
Finding 382411 (2023-022)
Significant Deficiency 2023
State of Nebraska
NE
Reporting § 200.510 § 200.511
Program: Various, including AL 93.575, 93.596 – CCDF Cluster; AL 93.558 – Temporary Assistance for Needy Families –– Reporting Corrective Action Plan: State Accounting will continue to work with State agencies on correct coding and business unit setup to reduce agency errors. Contact: Philip Ol...
Program: Various, including AL 93.575, 93.596 – CCDF Cluster; AL 93.558 – Temporary Assistance for Needy Families –– Reporting Corrective Action Plan: State Accounting will continue to work with State agencies on correct coding and business unit setup to reduce agency errors. Contact: Philip Olsen Anticipated Completion Date: Ongoing
View Audit 296116
State of Nebraska
NE
Questioned Costs Matching / Level of Effort / Earmarking Reporting
Program: AL 93.069 – Public Health Emergency Preparedness (PHEP); AL 93.889 – National Bioterrorism Hospital Preparedness Program (HPP) – Matching and Reporting Corrective Action Plan: The agency will ensure total reported match is substantiated by source documentation. In addition, DHHS will wor...
Program: AL 93.069 – Public Health Emergency Preparedness (PHEP); AL 93.889 – National Bioterrorism Hospital Preparedness Program (HPP) – Matching and Reporting Corrective Action Plan: The agency will ensure total reported match is substantiated by source documentation. In addition, DHHS will work with Federal Partners to make necessary reporting adjustments to the IDC rate used. Contact: Ryan Daly, Lisa Osborne, Ann Murphy Anticipated Completion Date: 6/30/2024
View Audit 296116 Questioned Costs: $1
Finding 382403 (2023-028)
Significant Deficiency 2023
State of Nebraska
NE
Reporting Subrecipient Monitoring Matching / Level of Effort / Earmarking
Program: AL 84.425U – COVID-19 Education Stabilization Fund – American Rescue Plan – Elementary and Secondary School Emergency Relief Fund (ARP ESSER) – Reporting Corrective Action Plan: We are constantly reviewing policy and procedures to ensure internal controls are in compliance with federal r...
Program: AL 84.425U – COVID-19 Education Stabilization Fund – American Rescue Plan – Elementary and Secondary School Emergency Relief Fund (ARP ESSER) – Reporting Corrective Action Plan: We are constantly reviewing policy and procedures to ensure internal controls are in compliance with federal regulations. All contracts pass a legal and fiscal review prior to finalizing the agreement. If fiscal reviewer believes the nature of the agreement casts the entity as a subrecipient, then the fiscal reviewer will ask the agreement owner seeking review to further identify if the agreement is a contractor or subrecipient determination based on 2 CFR Chapter I, Chapter II, Part 200 et al. If determined a subrecipient agreement, then further information will be collected from the agreement owner to be incorporated into the agreement and made available for FFATA and fiscal monitoring purposes. Contact: Jen Utemark, Administrator, Office of Budget & Grants Management Anticipated Completion Date: 7/1/2024
View Audit 296116
Finding 382390 (2023-024)
Significant Deficiency 2023
State of Nebraska
NE
School Nutrition Programs Subrecipient Monitoring Reporting
Program: AL 10.553 – School Breakfast Program; AL 10.555 – National School Lunch Program; AL 10.556 – Special Milk Program for Children; AL 10.559 – Summer Food Service Program for Children; and AL 10.582 – Fresh Fruit and Vegetable Program – Reporting Corrective Action Plan: The NDE will continu...
Program: AL 10.553 – School Breakfast Program; AL 10.555 – National School Lunch Program; AL 10.556 – Special Milk Program for Children; AL 10.559 – Summer Food Service Program for Children; and AL 10.582 – Fresh Fruit and Vegetable Program – Reporting Corrective Action Plan: The NDE will continue checking the status of the help desk ticket at FSRS once-weekly until reporting on the CNP block grant funds can be successfully completed. At that time, confirmation of successfully reporting on the CNP block grants will be provided to the state auditor. Contact: Kayte Partch, Assistant Administrator, Office of Coordinated Student Support Anticipated Completion Date: Pending federal response
View Audit 296116
Finding 382365 (2023-003)
Material Weakness 2023
McKeesport Area School District
PA
Reporting
The school has implemented the recommendation by reporting only eligible expenses and providing the proper account codes so that expenses can be recorded when the expense occurs and not all as journal entries.
The school has implemented the recommendation by reporting only eligible expenses and providing the proper account codes so that expenses can be recorded when the expense occurs and not all as journal entries.
View Audit 296055
Seton Hill University
PA
Student Financial Aid Eligibility Material Weakness § 200.516
Finding 2023-001: Student Financial Assistance Cluster, Department of Education Programs Program Name: Federal Direct Student Loans CFDA Numbers: 84.268 Corrective Action Plan: The University will update written procedures to clearly identify a step to manually do enrollment testing following all c...
Finding 2023-001: Student Financial Assistance Cluster, Department of Education Programs Program Name: Federal Direct Student Loans CFDA Numbers: 84.268 Corrective Action Plan: The University will update written procedures to clearly identify a step to manually do enrollment testing following all conferral of degrees. For those regularly scheduled graduation periods and following the submission of both the degree and last of term enrollment files, we will randomly sample 10% of graduated students and manually verify their statuses. For degrees conferred outside of the regularly scheduled graduation periods, each record will be manually verified. This will ensure recorded graduation records will be verified within the National Student Clearinghouse to ensure alignment between degree history and enrollment history. The error was found to be a bug in the reporting software that happened in the current fiscal year. The University’s processes in previous years were correct as this error was not present. Completion Date: Estimated March 2024
View Audit 296043
Finding 382343 (2023-004)
Material Weakness 2023
Lake Ridge Schools
IN
School Nutrition Programs Internal Control / Segregation of Duties Cash Management § 200.303
FINDING 2023-004 Information on the federal program: Subject: Child Nutrition Cluster - Reporting Federal Agency: Department of Agriculture Federal Programs: School Breakfast Program, National School Lunch Program, Summer Food Service Program for Children, Fresh Fruit and Vegetable Program Assistanc...
FINDING 2023-004 Information on the federal program: Subject: Child Nutrition Cluster - Reporting Federal Agency: Department of Agriculture Federal Programs: School Breakfast Program, National School Lunch Program, Summer Food Service Program for Children, Fresh Fruit and Vegetable Program Assistance Listings Numbers: 10.553, 10.555, 10.559, 10.582 Federal Award Number and Year (or Other Identifying Numbers): FY2021-2022, FY2022-2023 Pass-Through Entity: Indiana Department of Education Compliance Requirement: Reporting Audit Finding: Material Weakness Contact Person Responsible for Corrective Action: Chris Akers, Treasurer Contact Phone Number and Email Address: (219) 838-1819 cakers@lakeridgeschools.net Condition: The School Corporation had not properly designed or implemented a system of internal control, which would include appropriate segregation of duties, that would likely be effective in preventing, or detecting and correcting noncompliance related to the monthly sponsor claim for reimbursement. Context: School Food Authority’s (SFA) and sponsors must submit monthly claims for reimbursement for meals and snacks served to eligible students within 60 days following the last day of the month covered by the claim. The Food Service Management Company employed Food Service Director prepared the monthly claim for reimbursement on the Indiana Department of Education Child Nutrition Program website based on meal count reports from the point-of-sale system. The School Corporation did not implement a system of internal control to ensure what was claimed for reimbursement agreed to the point-of-sale system meal count reports. Views of Responsible Officials: We concur with the finding. Description of Corrective Action Plan: Before the monthly claim for reimbursement is submitted by the FSMC, the Treasurer will reconcile the claim with the meal count report generated by the point-of-sale system. Anticipated Completion Date: Immediate
View Audit 296034
Finding 382297 (2023-001)
Material Weakness 2023
Aids Ministries - Aids Assist of North Indiana, Inc.
IN
Reporting Internal Control / Segregation of Duties
2023-001 Material Adjustments Views of Responsible Officials and Planned Corrective Actions: Prior to the merger of Refresh and AIDS Ministries/AIDS Assist, the financial statements and policies for Refresh were not monitored consistently by previous management/board of directors. Since the merger R...
2023-001 Material Adjustments Views of Responsible Officials and Planned Corrective Actions: Prior to the merger of Refresh and AIDS Ministries/AIDS Assist, the financial statements and policies for Refresh were not monitored consistently by previous management/board of directors. Since the merger Refresh has adopted all financial policies of AIDS Ministries/AIDS Assist. Management will incorporate financial reporting internal controls to detect material adjustments, prevent materially misstated financial statements and increase the accuracy of the interim financial reports used by management for Refresh accounts.
View Audit 296006
Finding 382283 (2023-004)
Material Weakness 2023
Ascension Health Alliance D/b/a Ascension
MO
Internal Control / Segregation of Duties Subrecipient Monitoring Cash Management
Finding 2023-004 – Reporting Information of the federal program: Federal Grantor: United States Department of the Treasury Assistance Listing No.: 21.027, COVID-19 Coronavirus State and Local Fiscal Recovery Funds Pass-Through Grantor: State of Illinois Department of Healthcare and Family Services A...
Finding 2023-004 – Reporting Information of the federal program: Federal Grantor: United States Department of the Treasury Assistance Listing No.: 21.027, COVID-19 Coronavirus State and Local Fiscal Recovery Funds Pass-Through Grantor: State of Illinois Department of Healthcare and Family Services Ascension Ministry Market: Illinois Pass-Through Award Number: ARPA000420 Pass-Through Award Period: 05/01/2022-06/30/2023 Pass-Through Grantor: State of Illinois Department of Public Health Ascension Ministry Market: Illinois Pass-Through Award Numbers: 38080717K, 38080718K Pass-Through Award Period: 07/01/2022-06/30/2023 Pass-Through Grantor: Mayor and City Council of Baltimore, Through MONSE Ascension Ministry Market: Maryland Pass-Through Award Number: Not applicable Pass-Through Award Period: 07/01/2022-06/30/2023 Views of responsible officials: Ascension Living management acknowledges that nine reports were not submitted to the State as required by the grant terms. Ascension Living management will coordinate with the State representatives regarding any past reports that are needed and submit them timely according to the agreement requirements. The System implemented a team calendar that tracks due dates of all reports required to be submitted under federal and state programs. This calendar is accessible to all team members, including management. However, Ascension will reinforce the importance to management of oversight and accountability of oversight and accountability to submit required reports. Responsible Official: July Turley, Director of Accounting and Reporting; Rob Madsen, Director of Accounting and Reporting Anticipated completion date: May 31, 2024
View Audit 295994
Finding 382278 (2023-001)
Material Weakness 2023
Ascension Health Alliance D/b/a Ascension
MO
Reporting § 200.303 § 200.502 § 200.510
Finding 2023-001 – Reporting Information of the federal program: Federal Grantor: United States Department of Housing and Urban Development Assistance Listing No.: 14.241, Housing Opportunities for Persons with AIDS Ascension Ministry Market: Illinois Pass-Through Grantor: Aids Foundation of Chicago...
Finding 2023-001 – Reporting Information of the federal program: Federal Grantor: United States Department of Housing and Urban Development Assistance Listing No.: 14.241, Housing Opportunities for Persons with AIDS Ascension Ministry Market: Illinois Pass-Through Grantor: Aids Foundation of Chicago Federal Grantor: United States Department of Justice Assistance Listing No.: 16.560, National Institute of Justice Research, Evaluation, and Development Project Grants Ascension Ministry Market: Texas Federal Grantor: United States Department of Justice Assistance Listing No.: 16.710, Public Safety Partnership and Community Policing Grants Ascension Ministry Market: Illinois Pass-Through Grantor: The Village of Arlington Heights Police Department Federal Grantor: United States Department of the Treasury Assistance Listing No.: 21.027, COVID-19 Coronavirus State and Local Fiscal Recovery Funds Ascension Ministry Market: Maryland Pass-Through Grantor: Mayor and City Council of Baltimore, through MONSE Federal Grantor: United States Department of Health and Human Services Assistance Listing No.: 93.650, Accountable Health Communities Ascension Ministry Market: Illinois Federal Grantor: United States Department of Health and Human Services Assistance Listing No.: 93.958, Block Grants for Community Mental Health Services Ascension Ministry Market: Illinois Pass-Through Grantor: The State of Illinois Department of Human Services Federal Grantor: United States Department of Homeland Security Assistance Listing No.: 97.039, Hazard Mitigation Grant Ascension Ministry Market: Florida Pass-Through Grantor: Florida Division of Emergency Management Views of responsible officials: The System will enhance its grant management award processes by revising its onboarding procedures and add additional controls to monitor the accuracy of the core data. Management will reinforce the importance of timeliness and accuracy of the Schedule reporting totals to facilitate accurate reporting. Award amounts were changed on the Schedule after management’s review was executed. Management will implement preventive controls to lock down market Schedule templates after management final review. Responsible Official: Rob Madsen, Director of Accounting and Reporting, Grants & Research COE Anticipated completion date: May 31, 2024
View Audit 295994
Landmark College, INC
VT
Student Financial Aid Matching / Level of Effort / Earmarking Reporting
FINDING 2023-002: Timely Reporting to NSLDS The Registrar and the Landmark College Database / Application Systems Analyst met with the National Student Clearinghouse (NSC) to address this issue. This discussion surfaced the information about how NSC schedules their files and the revelation that Covi...
FINDING 2023-002: Timely Reporting to NSLDS The Registrar and the Landmark College Database / Application Systems Analyst met with the National Student Clearinghouse (NSC) to address this issue. This discussion surfaced the information about how NSC schedules their files and the revelation that Covid pushed the NSC submission schedule back. As a result of the meeting, the NSC first of term file will revert to preCovid. Planned Corrective Action: The correction to reports by NSC should correct this error going forward
View Audit 295992
Finding 382253 (2023-004)
Material Weakness 2023
Plymouth Community School Corporation
IN
Internal Control / Segregation of Duties Subrecipient Monitoring Material Weakness § 200.302 § 200.303 § 200.328
FINDING 2023 - 004 Finding Subject: COVID-19 – Education Stabilization Fund - Reporting Summary of Finding: The School Corporation had not designed or implemented a system of internal controls, which would include appropriate segregation of duties, that would likely be effective in preventing, or de...
FINDING 2023 - 004 Finding Subject: COVID-19 – Education Stabilization Fund - Reporting Summary of Finding: The School Corporation had not designed or implemented a system of internal controls, which would include appropriate segregation of duties, that would likely be effective in preventing, or detecting and correcting, noncompliance. The School Corporation was to submit an annual data report to the Indiana Department of Education (IDOE) via JotForm, a form/report builder. During the audit period the School Corporation was required to submit two ESSER I reports, two ESSER II reports, and two ESSER III reports—a total of six reports. However, the School Corporation failed to submit all six required reports. We recommended that management of the School Corporation establish a proper system of internal controls and develop policies and procedures to ensure reports are submitted. Contact Person Responsible for Corrective Action: Steven Boyer Contact Phone Number and Email Address: 574-936-3115 sboyer@plymouth.k12.in.us Views of Responsible Officials: The Corporation concurs with the finding. Description of Corrective Action Plan: The transition in the Corporation’s Business Manager position resulted in a failure to properly identify and train the person responsible for submitting final expenditure reports for ESSER grants. The Business Manager will prepare the final expenditure reports, and the Grant Specialist will review and compare the report to the ledger to verify that it is correct. After the review, the Business Manager will submit the final expenditures reports. Additionally, the Business Manager and Grant Specialist have developed a shared calendar that includes all report due dates. Anticipated Completion Date: This corrective action plan was implemented beginning February 2024 and will be implemented moving forward.
View Audit 295985
Finding 382243 (2023-005)
Material Weakness 2023
The University of Chicago
IL
Reporting Matching / Level of Effort / Earmarking Subrecipient Monitoring § 200.303
Finding No. 2023-005: Inaccurate Reporting of Higher Education Emergency Relief Fund (HEERF) Quarterly Data CFDA Numbers: 84.425 Program: Higher Education Emergency Relief Fund Corrective Action: Institutional expenditure reporting was reviewed and revised reports were posted to the institution’s w...
Finding No. 2023-005: Inaccurate Reporting of Higher Education Emergency Relief Fund (HEERF) Quarterly Data CFDA Numbers: 84.425 Program: Higher Education Emergency Relief Fund Corrective Action: Institutional expenditure reporting was reviewed and revised reports were posted to the institution’s website. Implementation Date: March 6, 2024 Contact Person: Amanda Fijal
View Audit 295975
Finding 382240 (2023-004)
Material Weakness 2023
The University of Chicago
IL
Reporting Matching / Level of Effort / Earmarking Student Financial Aid § 200.303
Finding No. 2023-004: Untimely and Inaccurate Reporting of Pell and FDL Data CFDA Numbers: 84.268 Program: Student Financial Assistance Cluster Corrective Action: A control will be added to loan set-up. Additional training was provided to staff monitoring loan reports. Implementation Date: June 10,...
Finding No. 2023-004: Untimely and Inaccurate Reporting of Pell and FDL Data CFDA Numbers: 84.268 Program: Student Financial Assistance Cluster Corrective Action: A control will be added to loan set-up. Additional training was provided to staff monitoring loan reports. Implementation Date: June 10, 2024 Contact Person: Amanda Fijal
View Audit 295975
Finding 381232 (2023-003)
Significant Deficiency 2023
County of Orange, California
CA
Reporting Significant Deficiency Matching / Level of Effort / Earmarking § 200.303
2023-003 Program: COVID-19 Activities to Support State, Tribal, Local and Territorial (STLT) Health Department Response to Public Health and Healthcare Crises Federal Financial Assistance Listing Number: 93.391 Federal Grantor: U.S. Department of Health and Human Services Award No. and Year: 2022 Co...
2023-003 Program: COVID-19 Activities to Support State, Tribal, Local and Territorial (STLT) Health Department Response to Public Health and Healthcare Crises Federal Financial Assistance Listing Number: 93.391 Federal Grantor: U.S. Department of Health and Human Services Award No. and Year: 2022 Compliance Requirements: Reporting Type of Finding: Significant Deficiency in Internal Control Over Compliance Criteria: 2 CFR Section 200.303(a), Internal Controls, states that the non-Federal entity must establish and maintain effective internal control over the Federal award that provides reasonable assurance that the non-Federal entity is managing the Federal award in compliance with Federal statutes, regulations, and the terms and conditions of the Federal award. Condition: During our testing of the Health Care Agency’s (HCA) compliance with reporting requirements, we noted for four (4) of four (4) reports the department did not retain evidence of the review and approval over the performance report. Cause: HCA personnel prepared program required performance reports and submitted the reports without retaining documented evidence that the reports were reviewed and approved by a separate individual prior to submission. Effect: The County did not document their review and approval of the report. Questioned Costs: No questioned costs were identified as a result of our procedures. Context/Sampling: The entire population of four (4) reports were selected for reporting testwork from HCA. Repeat Finding from Prior Years: No. Recommendation: We recommend the HCA to implement policies that ensure the review and approval of reports are clearly documented prior to the report’s submission. Management Response and Corrective Action: Health Care Agency: 1. Person Responsible: Hieu Nguyen, HCA Office of Population Health and Equity Director 2. Corrective Action Plan: HCA Office of Population Health and Equity will implement procedures that ensure review/approval prior to report submission to the Center for Disease Prevention and Control. 3. Anticipated Implementation Date: April 1, 2024
View Audit 295958
Finding 381229 (2023-002)
Significant Deficiency 2023
Whittier College
CA
Reporting Student Financial Aid Significant Deficiency
The Office of Financial Aid concurs with the audit of Pell 15-day reporting finding. The Compliance is clearly stated the timeframe to send an original Pell Grant disbursement to COD is within 15 days of the date of disbursement. We also understand we have the ability to go back into the account and...
The Office of Financial Aid concurs with the audit of Pell 15-day reporting finding. The Compliance is clearly stated the timeframe to send an original Pell Grant disbursement to COD is within 15 days of the date of disbursement. We also understand we have the ability to go back into the account and make an adjustment as needed. As of September 2023, Whittier College has reached out to our software vender Ellucian Banner to find a solution on how to avoid these incidents of not sending Pell Grant disbursements to COD in the timeframe allotted for compliance. We have now been given a new process that will solve this issue to ensure the Pell Grants are all originated on COD thus allowing the disbursements to be sent within the 15-day compliance timeframe. We will continue to reconcile the Pell Grants twice a month internally to ensure any issues get resolved, if any noted, in a timely manner. Persons Responsible: Jesse Marquez, Financial Aid Associate Director and Information Specialist; Julie Aldama, Financial Aid Director Anticipated Completion Date: Implemented as of September 2023
View Audit 295948
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